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Juan Rascon

Cetera Investment Advisers LLC
17 Years of Experience
Richmond, TX
4 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Juan Rascon is a registered investment advisor at Cetera Investment Advisers LLC, based in Richmond, TX, with 17 years of industry experience. Juan is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

24200 Via Manzini Way, Ste 301, Richmond, TX, 77406

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2025
Settled
Customer Dispute
September 2024
Denied
Customer Dispute
May 2023
Settled
Customer Dispute
July 2014
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Juan is a board member and director of financial strategy for GCD Consulting LLC, dedicating a few hours per week. He also sells fixed insurance and long-term care through Lion Street Financial, LLC.

Employment History
Current Registrations
Cetera Investment Advisers LLC
March 2019 - Present · 7 yrs 7 mos
Cetera Investment Services LLCBroker
March 2019 - Present · 7 yrs 7 mos
Previous Registrations
Bbva Securities INC.Broker
May 2013 - March 2019 · 5 yrs 10 mos
Bbva Wealth Solutions INC.
January 2013 - March 2019 · 6 yrs 2 mos
Bbva Compass Investment Solutions, INCBroker
January 2013 - May 2013 · 4 mos
J.P. Morgan Securities LLC
October 2012 - January 2013 · 3 mos
J.P. Morgan Securities LLCBroker
October 2012 - January 2013 · 3 mos
Chase Investment Services CORP.
March 2011 - October 2012 · 1 yr 7 mos
Chase Investment Services CORP.Broker
March 2011 - October 2012 · 1 yr 7 mos
Edward Jones
May 2009 - March 2011 · 1 yr 10 mos
Edward JonesBroker
March 2009 - March 2011 · 2 yrs
State Registrations9 states
ARAZCACOCTDCFLNMTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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